SEC Form 4 · accession 0001045309-19-000019
W R GRACE & CO · GRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith N Cole
Officer — Sr. VP, Govt. Rel. and EHS
Period of report
Feb 22, 2019
Accepted (ET)
Feb 26, 2019 · 9:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001045309
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.01 per shareF1,F2 | Feb 22, 2019 | M | 1,082 | — | A | 9,017 | D | |
| Common Stock, par value $0.01 per share | Feb 22, 2019 | F | 528 | $77.65 | D | 8,489 | D | |
| Common Stock, par value $0.01 per shareF3,F2 | Feb 25, 2019 | M | 547 | — | A | 9,036 | D | |
| Common Stock, par value $0.01 per share | Feb 25, 2019 | F | 264 | $77.93 | D | 8,772 | D | |
| Common Stock, par value $0.01 per share | Feb 25, 2019 | A | 3,943 | $0.00 | A | 12,715 | D | |
| Common Stock, par value $0.01 per share | Feb 25, 2019 | F | 1,884 | $77.93 | D | 10,831 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF4,F1 | — | Feb 22, 2019 | M | 1,082 | D | — | — | Common Stock | 1,082 | 2,186 | D |
| Employee Stock Options (rights to buy)F5 | $78.115 | Feb 25, 2019 | A | 9,633 | A | — | Feb 25, 2029 | Common Stock | 9,633 | 9,633 | D |
| Restricted Stock UnitsF4,F6 | — | Feb 25, 2019 | A | 2,240 | A | — | — | Common Stock | 2,240 | 4,426 | D |
| Restricted Stock UnitsF4,F3 | — | Feb 25, 2019 | M | 547 | D | — | — | Common Stock | 547 | 3,879 | D |
Explanation of responses
- F1On February 23, 2017, the reporting person was granted 1,575 stock units, vesting annually in three substantially equal installments beginning on February 23, 2018, 525 of these stock units vested and settled on February 22, 2019. On February 22, 2018, the reporting person was granted 1,671 stock units, vesting in three substantially equal installments beginning on February 22, 2019, 557 of these stock units vested and settled on that date.
- F2Restricted stock units converted into Common Stock on a one-for-one basis.
- F3On February 25, 2016, the reporting person was granted 1,643 stock units, vesting annually in three substantially equal installments beginning on February 24, 2017, 547 of these stock units vested and settled on February 25, 2019.
- F4Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock or at the Issuer's election, the cash value thereof.
- F5Options become exercisable in three substantially equal annual installments beginning on February 25, 2020.
- F6Restricted Stock Units vest in three substantially equal annual installments beginning on February 25, 2020 and will be settled within 60 days of those vesting dates.